DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

R•••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· Miami, Florida

Asset manager (funds and pooled vehicles), based in Miami, Florida, reporting $402M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $402M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +105%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +105% over the last fiscal year, to $402M.
2026-03-27
RAUM a year earlier $196MRAUM now $402M
RAUM (Item 5.F) moved from $196,086,597 to $401,858,567 (+105.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was +4.0% (1145 comparable advisers, 97.0th percentile of changes)
2026-03-27
RAUM (Item 5.F) 401858567Peer median 0.0393374900239712
1 published business contact point is on record, each with its source.
Contact points 1

Every filed figure, and the identifiersCRD 160440 · SEC 801-78311 · 30 filingsShow

CRD 160440SEC 801-78311First filing on the tape Jun 28, 2013, latest Mar 27, 2026SEC status approved since Jul 11, 2013IAPD

RAUM

$402M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

30 filings and snapshots on the tape

RAUM$402M as of Mar 27, 2026

Mar 31, 2014$734M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 31, 20140 then

Employees (5.A)2 as of Mar 27, 2026

Mar 31, 20145 then

Private funds2 as of Mar 27, 2026

Mar 31, 20141 then

RAUM +105% over the last fiscal year+43% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $100MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +105%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $26.3M, 4 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$402M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $26.3M for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R•••• C•••••• M••••• F•••• L•••	Hedge Fund	$385M	25	Mar 29, 2012
A•• L••• S•••• E••••• M••••• F••• L••no longer reported	Hedge Fund	$26.5M	7	Jan 2, 2014
A•• L••• S•••• E••••• F••• L•	Hedge Fund	$16.8M	6	Mar 31, 2023
R•••• S•• F•••• L••no longer reported	Hedge Fund	$1.6M	7	Feb 19, 2015

Owners and control persons

Schedule A and B, latest filing

C•••••• N••••• K•••••••• · Managing Partnercontrol
since 05/2009 · owns 75% or more
G••••• P•••••••• •••• · Chief Compliance Officercontrol
since 09/2022 · owns less than 5%
C•••••• N••••• K•••••••• · Sole Shareholdercontrol
since 05/2009 · owns 75% or more of R•••• C•••••• M••••••••• I••

Entity owners

R•••• C•••••• M••••••••• I•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

A•• C•••••• A••••••• L••
bankpooled vehicle sponsorn
R•••• C•••••• G••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Mar 27, 2026
RAUM (Item 5.F) moved from $196,086,597 to $401,858,567 (+105.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was +4.0% (1145 comparable advisers, 97.0th percentile of changes)
peers: asset managers, $100M to $500M (1,145) · 97% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $153M to $26.3M
May 13, 2025 to Mar 27, 2026
Discretionary RAUM · $196M to $402M
May 13, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $196M to $402M
May 13, 2025 to Mar 27, 2026
RAUM · $196M to $402M
May 13, 2025 to Mar 27, 2026
Financial planning clients · unset to
Mar 27, 2025 to May 13, 2025
Discretionary RAUM · $153M to $196M
May 10, 2024 to Mar 27, 2025
Pooled vehicle RAUM · $153M to $196M
May 10, 2024 to Mar 27, 2025
RAUM · $153M to $196M
May 10, 2024 to Mar 27, 2025
Assets in custody · $137M to $153M
May 16, 2023 to Mar 25, 2024
Discretionary RAUM · $137M to $153M
May 16, 2023 to Mar 25, 2024
Pooled vehicle RAUM · $137M to $153M
May 16, 2023 to Mar 25, 2024
RAUM · $137M to $153M
May 16, 2023 to Mar 25, 2024
Accounts · 5 to 4
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle clients · 5 to 4
Mar 31, 2022 to Mar 31, 2023
Assets in custody · $697M to $137M
Mar 31, 2022 to Mar 31, 2023
Employees · 3 to 2
Mar 31, 2022 to Mar 31, 2023
HQ city · MIAMI BEACH to MIAMI
Mar 31, 2022 to Mar 31, 2023
Discretionary RAUM · $697M to $137M
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $697M to $137M
Mar 31, 2022 to Mar 31, 2023
RAUM · $697M to $137M
Mar 31, 2022 to Mar 31, 2023
Assets in custody · $890M to $697M
Mar 31, 2021 to Mar 30, 2022
Discretionary RAUM · $890M to $697M
Mar 31, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $890M to $697M
Mar 31, 2021 to Mar 30, 2022
RAUM · $890M to $697M
Mar 31, 2021 to Mar 30, 2022
Accounts · 3 to 5
Jun 1, 2020 to Mar 31, 2021
Advisory employees · 1 to 2
Jun 1, 2020 to Mar 31, 2021
Pooled vehicle clients · 3 to 5
Jun 1, 2020 to Mar 31, 2021
Assets in custody · $180M to $890M
Jun 1, 2020 to Mar 31, 2021
Employees · 2 to 3
Jun 1, 2020 to Mar 31, 2021
HQ city · NEW YORK to MIAMI BEACH
Jun 1, 2020 to Mar 31, 2021
HQ state · NY to FL
Jun 1, 2020 to Mar 31, 2021
Private funds · 1 to 2
Jun 1, 2020 to Mar 31, 2021
Discretionary RAUM · $180M to $890M
Jun 1, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $180M to $890M
Jun 1, 2020 to Mar 31, 2021
RAUM · $180M to $890M
Jun 1, 2020 to Mar 31, 2021
Related adviser · true to false
Jun 1, 2020 to Mar 31, 2021
Assets in custody · $8.6M to $180M
Jul 10, 2019 to Jun 1, 2020
Employees · 3 to 2
Jul 10, 2019 to Jun 1, 2020
Financial planning clients · 0 to unset
Jul 10, 2019 to Jun 1, 2020
Discretionary RAUM · $181M to $180M
Jul 10, 2019 to Jun 1, 2020

Signals

15 dated events

••• Locked
Mar 27, 2026 · ria private fund assets change · fact
••• Locked
Mar 27, 2026 · RAUM change · derived
••• Locked
Mar 27, 2026 · private fund gav change · fact
••• Locked
Mar 27, 2026 · private fund gav change · fact
••• Locked
Mar 31, 2023 · Control person left · inference
••• Locked
Mar 31, 2023 · RAUM change · derived
••• Locked
Mar 31, 2023 · Control person joined · fact
••• Locked
Mar 31, 2021 · RAUM change · derived
••• Locked
Jun 1, 2020 · Control person joined · fact
••• Locked
Jul 10, 2019 · Control person left · inference
••• Locked
May 10, 2019 · Control person joined · fact
••• Locked
May 10, 2019 · Control person left · inference
••• Locked
Mar 30, 2018 · RAUM change · derived
••• Locked
Jan 2, 2014 · ria registration change · fact
••• Locked
Jun 28, 2013 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

R•••• C•••••• M••••••••• L• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026